WILLIAM LAMBLE COOPER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9720 GREENSIDE DR, COCKEYSVILLE, MD, 21030-5033.
WILLIAM LAMBLE COOPER has worked at LPL FINANCIAL LLC since August 17, 2009
Disclosure History
WILLIAM LAMBLE COOPER has 2 Disclosure Event(s).
Date: January 19, 2011 Category: Customer Dispute Allegations: CLAIMANTS, RESIDENTS OF MARYLAND, ALLEGE BETWEEN AUGUST 2008 AND OCTOBER 2009, FA MADE UNSUITABLE INVESTMENTS RECOMMENDATIONS. CLAIMANTS ARE SEEKING DAMAGES OF APPROXIMATELY $200,000. Damage Amount Requested: $200,000.00 Settlement Amount: $75,000.00 Broker Comment: FINANCIAL ADVISOR COOPER IS NOT A NAMED DEFENDANT, NOT A NAMED PARTY AND NOT A NAMED RESPONDENT. **WITHOUT ADMITTING ANY LIABILITY, THE FIRM SETTLED THE MATTER FOR $75,000 TO AVOID THE EXPENSE, DISTRACTION AND UNCERTAINTY OF FURTHER ARBITRATION AND LITIGATION.
Date: May 14, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED UNAUTHORIZED TRADES. (08/01/2006 - 05/19/2009) Damage Amount Requested: $15,275.29 Settlement Amount: $15,275.29 Broker Comment: THERE WAS NO FINDING AND NO ADMISSION FOR UNAUTHORIZED TRADING. FINANCIAL ADVISOR COOPER WAS NOT ASKED OR REQUIRED TO CONTRIBUTE TO THE SETTLEMENT WHICH WAS MADE ONLY BY WELLS FARGO.
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